Category Archives: Lehman Brothers Principal Protected Notes

As the Securities Arbitration Law Firm of Klayman & Toskes Continues to Prosecute Claims Against UBS On Behalf of Lehman Brothers Principal Protection Note Investors, SEC and FINRA Issue Joint Investor Alert Regarding Principal Protection Notes

Posted on June 16, 2011 by Klayman & Toskes

The Securities Arbitration Law Firm of Klayman & Toskes (“K&T”), announced that it is continuing to pursue securities arbitration claims against UBS Financial Services (NYSE: UBS) with the Financial Industry Regulatory Authority’s (“FINRA”) Office of Dispute Resolution on behalf of … Continue reading →

Posted in FINRA, Lehman Brothers Holdings, Lehman Brothers Principal Protected Notes, SEC, Structured Products | Leave a comment

Notice From the Securities Arbitration Law Firm of Klayman & Toskes to All UBS Customers Who Invested in Lehman Brothers 100% Principal Protection Notes

Posted on April 25, 2011 by Klayman & Toskes

The Securities Arbitration Law Firm of Klayman & Toskes, announced today that it is continuing to pursue securities arbitration claims against UBS Financial Services (NYSE: UBS) with the Financial Industry Regulatory Authority’s (“FINRA”) Office of Dispute Resolution, on behalf of … Continue reading →

Posted in Arbitration, Enforcement, FINRA, Lehman Brothers Holdings, Lehman Brothers Principal Protected Notes, Misrepresentation, Omission, UBS | 1 Comment

The Securities Law Firm of Klayman & Toskes Files Additional Arbitration Claims Against UBS Seeking Recovery of Losses Sustained in Lehman Brothers 100% Principal Protection Notes

Posted on April 15, 2011 by Klayman & Toskes

The Securities Law Firm of Klayman & Toskes, P.A. announced today that it filed additional securities arbitration claims against UBS Financial Services (NYSE: UBS) on behalf of investors for losses sustained in Lehman Brothers 100% Principal Protection Notes. These Lehman … Continue reading →

Posted in Arbitration, Enforcement, FINRA, Lehman Brothers Principal Protected Notes, Misrepresentation, Omission, Suitability, UBS | 1 Comment

Important Notice to UBS Customers: Klayman & Toskes Continues to Pursue Arbitration Claims Against UBS For Losses Sustained in Lehman Brothers 100% Principal Protection Notes In Light of FINRA’s Restitution Order of Only $8.25 Million

Posted on April 11, 2011 by Klayman & Toskes

The Securities Arbitration Law Firm of Klayman & Toskes announced today that The Financial Industry Regulatory Authority (“FINRA”) has fined UBS Financial Services, Inc. (NYSE: UBS) $2.5 million and ordered the broker-dealer to pay $8.25 million in restitution, as a … Continue reading →

Posted in FINRA, Lehman Brother Principal Protected Notes, Lehman Brothers Holdings, Lehman Brothers Principal Protected Notes, Misrepresentation, UBS | 1 Comment

Notice From the Securities Arbitration Law Firm of Klayman & Toskes to All UBS Customers Who Invested in Lehman Brothers 100% Principal Protection Notes

Posted on September 21, 2010 by Klayman & Toskes

The Securities Arbitration Law Firm of Klayman & Toskes announced today that it is continuing to pursue securities arbitration claims against UBS Financial Services (NYSE: UBS) with the Financial Industry Regulatory Authority’s (“FINRA”) Office of Dispute Resolution, on behalf of … Continue reading →

Posted in Arbitration, Class Action Opt-Out, FINRA, Legal Rights and Options, Lehman Brothers Holdings, Lehman Brothers Principal Protected Notes, Misrepresentation, Omission, Opt-out, Suitability, UBS | 2 Comments

The Securities Law Firm of Klayman & Toskes Files Arbitration Claim Against UBS Seeking Recovery of $300,000 for Losses Sustained in Lehman Brothers 100% Principal Protection Notes and Fannie Mae Preferred Stock

Posted on March 30, 2010 by Klayman & Toskes

Klayman & Toskes, PA announced today that it filed a securities arbitration claim against UBS Financial Services (NYSE: UBS) seeking recovery of $300,000 for losses sustained in Lehman Brothers 100% Principal Protection Notes and Fannie Mae Preferred Stock.  The Claimants … Continue reading →

Posted in Arbitration, Fannie Mae, FINRA, General, Lehman Brothers Principal Protected Notes, Misrepresentation, Suitability | Leave a comment